Duties:

• Review and keep up-to-date compliance policies, documents and procedures
• Review business documents and operation flow and related materials to ensure compliance of relevant laws and SFC regulations
• Provide compliance and regulatory advice for all business transactions and new business initiatives
• Perform compliance reviews and self-assessments in accordance with regulatory and internal requirements
• To take up the position of Manager-in-charge of Compliance
• Liaise with the relevant regulators and external parties on compliance and regulatory issues
• Take care of licensing issues and conduct monitoring activities
• Handle ad-hoc projects assigned by senior management

Requirements:

• Degree in Law, Business or related disciplines
• At least 2 years of compliance experience gained from Hong Kong securities business
• Relevant compliance experience in most of Type 1,4,6,9 regulated activities would have definite advantages
• Familiar with SFC regulations, AML and other relevant legal and regulatory requirements
• Good command of English, Chinese and fluent Putonghua
• Strong organizational skills and report writing skills
• Reliable with integrity, responsibility and strong commercial sense

Interested parties please click "Apply Now" to submit your application

Personal data collected will be used for recruitment purpose only.